The Northern Lights Compliance Services, LLC program for the development of compliance policies and
procedures is extremely comprehensive and designed to ensure that a fund is in complete compliance with all
compliance rules.
-
The CCO is designated and approved by your fund's board.
-
The CCO investigates, reviews and assesses the current policies and procedures of your fund.
-
The CCO meets your service providers and assesses the adequacy of their compliance policies and
procedures.
-
The CCO designs a written compliance program to be approved by your fund's board.
-
The CCO conducts annual reviews and the findings will be reported to the fund's board.
Rest easy and let us worry about the details of keeping your fund in compliance. Contact us today!